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LLC Revision 1 to Standard Design Approval Application, Part 2, Chapter 18, TR-130418-NP, Human Factors Engineering Design Implementation Implementation Plan
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Human Factors Engineering Design Implementation Implementation Plan

TR-130418-NP Revision 0 Licensing Technical Report

Human Factors Engineering Design Implementation Implementation Plan

December 2022 Revision 0 Docket: 52-050

NuScale Power, LLC 1100 NE Circle Blvd., Suite 200 Corvallis, Oregon 97330 www.nuscalepower.com

Human Factors Engineering Design Implementation Implementation Plan

TR-130418-NP Revision 0 Licensing Technical Report

COPYRIGHT NOTICE

This document bears a NuScale Power, LLC, copyright notice. No right to disclose, use, or copy any of the information in this document, other than by the U.S. Nuclear Regulatory Commission (NRC), is authorized without the express, written permission of NuScale Power, LLC.

The NRC is permitted to make the number of copi es of the information contained in these reports needed for its internal use in connection with gen eric and plant-specific reviews and approvals, as well as the issuance, denial, amendment, transfer, renewal, modification, suspension, revocation, or violation of a license, permit, or der, or regulation subject to the requirements of 10 CFR 2.390 regarding restrictions on public disclosure to the extent such information has been identified as proprietary by NuScale Power, LLC, copyright protection notwithstanding.

Regarding nonproprietary versions of these reports, the NRC is permitted to make the number of additional copies necessary to provide copies for public viewing in appropriate docket files in public document rooms in Washington, DC, and elsewhere as may be required by NRC regulations. Copies made by the NRC must include this copyright notice in all instances and the proprietary notice if the original was identified as proprietary.

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Department of Energy Acknowledgement and Disclaimer

This material is based upon work supported by the Department of Energy under Award Number DE-NE0008928.

This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights.

Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency thereof. The views and opinions of authors expressed herein do not ne cessarily state or reflect those of the United States Government or any agency thereof.

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Table of Contents

Abstract................................................................... 1 Executive Summary.......................................................... 2 1.0 Introduction.......................................................... 3 1.1 Purpose.............................................................. 3 1.2 Scope................................................................ 3 1.3 Abbreviations.......................................................... 4 2.0 Configuration Control of HSIs........................................... 5 3.0 Design Implementation Assessments..................................... 6 3.1 Human System Interface Assessment....................................... 6 3.2 Facility Configuration Assessment.......................................... 7 4.0 Human Factors Engineering Issue Resolution.............................. 8 5.0 Addressing Important Human Actions.................................... 9 6.0 Additional Considerations for Human Factors Engineering Aspects of Control Room Modifications................................................... 10 7.0 Results Summary Report.............................................. 11 8.0 NUREG-0711 Conformance Evaluation................................... 12 9.0 References.......................................................... 16 9.1 Source Documents..................................................... 16 9.2 Referenced Documents................................................. 16

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List of Tables

Table 1-1 Abbreviations.................................................... 4 Table 8-1 Conformance with NUREG-0711.................................... 12

Human Factors Engineering Design Implementation Implementation Plan

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Abstract

This implementation plan describes the methodology for conducting the design implementation element of the Human Factors Engineering Program. Design implementation is an element of the Human Factors Engineering Program that verifies conformance of the as-built design to the planned design. The design implementation element is complete once the Human Factors Engineering Inspections, Tests, Analyses, and Acceptance Criteria item is closed.

The methodology described is consistent with t he applicable provisions of Section 12 of U.S.

Nuclear Regulatory Commission, "Human Factors Engineering Program Review Model,"

NUREG-0711, Revision 3 (Reference 9.1.1).

Human Factors Engineering Design Implementation Implementation Plan

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Executive Summary

The methodology for design implementation en sures that the as-built Human Factors Engineering (HFE) design of the NuScale Power Plant accurately reflects the verified and validated design resulting from the HFE design pr ocess. This implementation plan describes how ownership of the HFE Program is transferred fr om NuScale to a licensee and the actions a licensee completes in order to close the HF E Inspections, Tests, Analyses, and Acceptance Criteria. Design implementation activities include evaluation of those aspects of the design that are not addressed during human factors verification and validation. The methods used to verify that the final human-system interfaces and faci lity configuration conform to the planned design include subject matter expert reviews and plant walkdowns. The HFE issues identified during these activities are documented, evaluated, and resolved in the licensee's Quality Assurance Program Description.

Human Factors Engineering Design Implementation Implementation Plan

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1.0 Introduction

1.1 Purpose

This document provides the implementation pl an (IP) for design implementation (DI) within the Human Factors Engineering (HFE) Program. Design implementation demonstrates that the HFE Program "as-built" design of the human-system interface (HSI) and facility configuration accurately reflects the verified and validated design resulting from the HFE design process. Design implementation activities also include an evaluation of those aspects of the design that are not addressed during the human factors verification and validation (V&V), including modifications to the standard design and new human engineering discrepancies (HEDs) identified after completion of the V&V.

Features evaluated during DI include those that cannot be accurately simulated. Features not simulated include ergonomic considerations (e.g., lighting and background noise) as well as HSIs outside of the main control room (MCR) but within the licensee's HFE Program scope.

Human engineering discrepancies identified during V&V and HEDs identified after completion of the V&V are tracked and resolved in accordance with Section 3.0 or Section 4.0 of this document.

Completion of DI activities ensures the as-built HFE design conforms to the verified and validated design resulting from the HFE des ign process (the final as-designed HSI configuration). The HFE Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC) tracks completion of DI activities and, therefore, a results summary report (RSR) is not prepared for the DI element of the HFE Program.

1.2 Scope

For the MCR and each local control station (LCS), the DI element confirms that the as-built design conforms to the verified and validated design resulting from the HFE design process.

other aspects of the facility that are not simulated but are relevant to the overall HFE Program are evaluated using an appropriate V&V method.

HFE design changes made subsequent to completion of the V&V have been properly integrated into the final as-built HSI configuration.

The HSIs evaluated for conformance apply to the MCR and certain LCSs during normal, abnormal, and emergency operating conditions. This IP does not apply to maintenance or refueling activities, activities completed by craft or technical personnel (e.g., mechanical, electrical, or instrumentation and controls maintenance; health physics; chemistry; engineering; or information technology), or activities associated with the Technical Support Center, Emergency Operations Facility, or any other Emergency Response facilities (Reference 9.2.1), with the exception of Reactor Building crane operation. This IP does not specifically review procedures as they are subject to the licensee's Quality

Human Factors Engineering Design Implementation Implementation Plan

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Assurance Program (QAP) and that includes verification and validation of new and changed procedures. It also does not specifically review training as the licensee has its own program that is required to use the syst ematic approach to training. New or changed training would be controlled and evaluated by the licensee's program.

1.3 Abbreviations Table 1-1 Abbreviations Term Definition DI design implementation HED human engineering discrepancy HFE Human Factors Engineering HSI human-system interface IHA important human action IP implementation plan ISV integrated system validation ITAAC Inspections, Tests, Analyses, and Acceptance Criteria LCS local control station MCR main control room QAP Quality Assurance Program QAPD Quality Assurance Program Description RSR results summary report V&V verification and validation

Human Factors Engineering Design Implementation Implementation Plan

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2.0 Configuration Control of Human-System Interfaces

Changes to the HSI design are controlled under the NuScale Appendix B programs and processes and the applicable 10 CFR 52 Appendix,Section VIII.B.5 (50.59-like process).

NuScale is responsible for maintaining HFE de sign configuration control until the turnover requirements are met.

NuScale is prepared to turnover responsibility for HFE program implementation to the licensee when a licensee is granted a li cense and the licensee's Quality Assurance Program Description (QAPD) is approved by the NRC.

Human Factors Engineering Design Implementation Implementation Plan

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3.0 Design Implementation Assessments

Design implementation uses HFE and Operations subject matter expert review and plant walkdowns to verify that the as-built HSIs and facility configurations conform to the final as-designed HSI configuration.

The licensee is responsible for completing the following:

resolve priority 1 and priority 2 HEDs satisfactorily complete retests for priority 1 and priority 2 HEDs assess conditions that cannot be accurately simulated in the integrated system validation (ISV) resolve negative findings in the comparison of the as-built configuration to the final as-designed HSI configuration resolve or track open priority 3 HEDs resolve new HEDs identified as the design matures issue RSRs for HFE elements as required where IPs are submitted for the NuScale Standard Design Approval Application

Each of these elements could potentially identify the need for an HFE design change. The licensee's programs and processes determine when such changes are implemented. It is expected that some HFE design changes do not have sufficient priority to be implemented before the ITAAC closure. For those that do, the design change amends the as-designed HSI configuration post V&V Human Factors Engineering design. The amended design is used as the standard for veri fying that the as-built configuration is consistent with the design. Closure of ITAAC is designed to ensure the verified and validated HFE design is properly integrated wi th the final as-designed HSI configuration.

To accomplish this integration, the licensee performs the following actions:

The as-built design is compared to the final as-designed HSI configuration. Deviations are documented.

Each deviation is justified. If the deviation is caused by implementing an approved modification then the deviation is considered justified.

Deviations that cannot be justified are resolved in accordance with Section 4.0.

When all deviations are justified, the devia tions as a group are evaluated to determine if there is any collective significance that would invalidate the ISV conclusions.

3.1 Human System Interface Assessment

The DI assessments for software and har dware configurations confirm clear configuration-controlled design traceability for HSI components (alarms, controls, and indications) and peripheral equipment.

Human Factors Engineering Design Implementation Implementation Plan

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The DI assessment for HSI configuration is conducted by plant walkdowns and subject matter expert reviews and includes conformance with HFE design documents such as the HFE style guide, display schematics, drawings, and specifications.

screen navigation.

control functionality.

automation functionality.

alarm and notification functionality.

procedure interface functionality.

3.2 Facility Configuration Assessment

The DI assessment for facility configuration is conducted by performing plant walkdowns that include the physical configuration of work stations, panels, and displays.

visibility and sight lines.

accommodations for communication.

inclusion of emergency plan and personal protection equipment.

lighting.

background noise.

environmental controls and conditions (e.g., temperature and humidity).

The evaluation of aspects of the facility not simulated (e.g., LCSs) but relevant to the overall HFE program include a walkdown to confirm conformance to the latest approved HFE design documentation including the HFE style guide.

a subject matter expert review of

- the suitability of the LCS for executing the operating procedures where operating procedures direct use of that LCS (i.e., typically not computer-based procedures).

- the suitability of those procedures.

Human Factors Engineering Design Implementation Implementation Plan

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4.0 Human Factors Engineering Issue Resolution

The HEDs identified during the DI activities described in Section 3.0 are tracked and resolved in accordance with the licensee's QAPD. Some HEDs may be ongoing because of anticipated technology or other advancements.

For each HED, an evaluation is conducted to determine if the configuration is equivalent to the V&V Human Factors Engineering design. If equivalent, the basis for the equivalency is documented and design documentation revised as necessary.

if a design change is needed to correct the as-built configuration so it conforms to the final as-designed HSI configuration.

if the as-built configuration is different from the final as-designed HSI configuration but potentially acceptable. If potentially acc eptable, a design change review is conducted to determine the significance of the differences between final as designed HSI configuration and as-built configuration. If the design change review concludes that the design change is acceptable and has no impact on the completed ISV results, then a specific validation method (e.g., tabletop walkthrough, mockup, part-task simulator, or plant walkdown) is determined. If the ISV results are impacted by the design changes, the applicable portion(s) of ISV are repeated.

Human Factors Engineering Design Implementation Implementation Plan

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5.0 Addressing Important Human Actions

Important human actions (IHAs) are identified, addressed, and tracked by the treatment of important human actions element of the HFE program. Features that provide for reliable implementation of potential IHAs are incorporated into the HSI design (e.g.,

alarms, controls, indications, and procedures).

As described in the human factors V&V implementation plan (Reference 9.2.2), IHAs are considered among the significant conditions, personnel tasks, and situational factors sampled during V&V activities as the ISV scenarios are developed. The ISV assesses the successful performance of the integrated crew and the HSI for potential IHAs. During V&V, HEDs are processed when discrepancies are found for any IHA. A description of how the HFE program addressed IHAs is submitted as part of the V&V results summary report.

Human Factors Engineering Design Implementation Implementation Plan

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6.0 Additional Considerations for Human Factors Engineering Aspects of Control Room Modifications

The licensee's responsibilities for HFE Pr ogram implementation begin when the licensee is granted a license by the NRC and the licens ee's QAPD is approved. Approval of the QAPD establishes programs and processes comparable to those used in the NuScale HFE Program. After assuming HFE Program responsibility, a licensee institutes a Human Performance Monitoring Program to evaluate impacts on human performance going forward. The Human Performance Monitoring Program evaluates design change proposals for HSI design, procedures, or tr aining against the design bases established for the as-built design.

The licensee's HFE Program should implement the guidance of NUREG-0711, Human Factors Engineering Program Review Model, Revision 3 (Reference 9.1.1).

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7.0 Results Summary Report

Completion of DI activities is tracked and confirmed by an ITAAC item. This confirmation ensures that the as-built design conforms to the final as-designed HSI configuration resulting from the HFE design process. Therefore, an RSR is not prepared for the DI element of the HFE program.

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8.0 NUREG-0711 Conformance Evaluation

Table 8-1 indicates where each NUREG-0711, Rev. 3 (Reference 9.1.1) criterion is met in this IP.

Table 8-1 Conformance with NUREG-0711 Review Criteria Stated in NUREG-0711, Rev. 3 DI IP Section No. and paragraph 12.4 Review Criteria Section 1.2, all paragraphs 12.4.1 Final HFE Design Verification for New Plants and Section 3.0 Control Room Modifications

1. The applicant should evaluate aspects of the design that were not addressed in V&V by an appropriate V&V method.

Additional Information-Aspects of the design addressed by this criterion may include design char acteristics, such as new or modified displays for plant-specific design features.

2. The applicant should compare the final HSIs, procedures, Section 4.0, all paragraphs.

and training with the detailed description of the design to The Human Factors Engineering verify that they conform to the planned design resulting from process does not review procedures as the HFE design process and V&V ac tivities. This verification they are subject to the licensees QAP, should compare the actual HSI, procedures, and training that includes verification and validation materials to design descriptions and documents. Any of new and changed procedures.

identified discrepancies should be corrected, or justified.

The Human Factors Engineering Additional Information-Final de sign means the design existing in process does not review training as the the actual plant. licensee has its own program that is required to use the systematic approach to training. New or changed training is controlled and evaluated by the licensees program.

3. The applicant should verify that all HFE-related issues in the Section 2.0, all paragraphs issue-tracking system (Section 2.4.4) are adequately Section 4.0, all paragraphs addressed.

4. The applicant should provide a description of how the HFE Section 5.0, all paragraphs program addressed each important HA.

12.4.2 Additional Consideratio ns for Reviewing the HFE The remaining criteria are not applicable Aspects of Control Room Modifications to the NuScale HFE Program.

They are addressed as part of the In addition to any of the criteria above that are relevant to the licensee HFE Progra m in Section 6.0.

modification being reviewed, the following should be addressed.

12.4.2.1 General Criteria for Plant Modifications

1. The applicant should provide reasonable assurance that the reactor fuel is safely monitored during the shutdown period while physical modifications to the control room are being made.

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Table 8-1 Conformance with NUREG-0711 (Continued)

Review Criteria Stated in NUREG-0711, Rev. 3 DI IP Section No. and paragraph

2. The applicant should verify that modifications in the plants The Human Factors Engineering procedures and training reflect changes in plant systems, process does not review procedures as personnel roles and responsibilit ies, and in HSIs resulting they are subject to the licensees QAP, from the new systems. that includes verification and validation of new and changed procedures.

The Human Factors Engineering process does not review training as the licensee has its own program that is required to use the systematic approach to training. New or changed training is controlled and evaluated by the licensees program.

3. Installation should be planned to minimize disruptions to work Section 6.0 of plant personnel.

4. The applicant should verify that operations and maintenance Section 6.0 personnel are fully trained and qualified to operate and maintain all modifications made to the plant before starting up with the new systems and HSIs in place.

5. The applicant should have a plan to monitor start-up and Section 6.0 initial operations after the mo dification to reasonably assure that:

operational and maintenance problems arising from personnels interactions with the new systems, HSIs, and procedures are identified and addressed

personnel are sufficiently familiar with the new systems, HSIs, and procedures to support safe operations and maintenance

any negative transfer of trai ning from the old removed HSIs to the corresponding new ones was identified and corrected

no new problems are created by coordinating tasks between the remaining old HSIs and new HSIs

no unanticipated negative effects on personnel interaction and teamwork have surfaced 12.4.2.2 Modernization Programs Consisting of Many Small Section 6.0 Modifications

1. The applicant should assure that each modification follows an HFE program that provides standardization and consistency (1) between old and new equipment, and (2) across the new systems being implemented.

2. The applicant should verify that new modifications fulfill a Section 6.0 clear operational need, and do not interfere with existing systems.

Additional Information-For exampl e, the auditory alerts in a new HSI should not distract operators from addressing more important alarms.

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Table 8-1 Conformance with NUREG-0711 (Continued)

Review Criteria Stated in NUREG-0711, Rev. 3 DI IP Section No. and paragraph 12.4.2.3 Modernization Progra ms Consisting of Large Section 6.0 Modifications during Multiple Outages

1. Interim configurations may exist for long times (e. g., a refueling cycle), and therefore, applicants should verify that they are acceptable from both engineering and operations perspectives and that they meet regulatory requirements. The applicants evaluations should include:

PRA evaluations to ensure minimizing high-risk situations

FSAR evaluations to assure defense against design basis accidents

technical-specifications evaluations to determine if changes are needed

defense in depth evaluations to ensure meeting the criteria in RG 1.174

2. The applicant should perform task analysis for each interim Section 6.0 configuration to verify that any task demands are known and do not degrade personnel performance.

3. The applicant should update the HRA to address any unique Section 6.0 tasks that may impact risk, as well as any changes to existing tasks due to the interim configuration.

4. The applicant should verify that the HSIs needed to perform Section 6.0 important tasks (as defined in Section 6) are consistent and standardized. Personnel should not have to use both old and new HSIs for different aspects of the same task.

5. The applicant should develop procedures for temporary Section 6.0 configurations of systems and HSIs that personnel use when the plant is not shutdown.

6. The applicant should develop training for temporary Section 6.0 configurations of systems, HSIs, and procedures that personnel can use when th e plant is not shutdown.

7. The applicant should consider the following aspects of V&V: Section 6.0

HFE Design Verification - Temporary configurations of the systems, HSIs, and procedures that operations and maintenance personnel employ when the plant is not shutdown should be reviewed to verify that their design is consistent with the principles of good HFE design (e.g.,

conforms to a plant-specific style guide or NUREG-0700).

HSI Task-Support Verification - Temporary configurations of the systems, HSIs, and procedures, which operations and maintenance personnel may use when the plant is not shutdown, should be reviewed to verify that their design supports the intended tasks.

- Additional Information-For example, if a temporary configuration of plant sy stems introduces special monitoring requirements, then the HSIs should give the necessary information.

ISV - Interim configurations should be validated if so warranted by the risk signific ance of the personnel tasks affected by them.

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Table 8-1 Conformance with NUREG-0711 (Continued)

Review Criteria Stated in NUREG-0711, Rev. 3 DI IP Section No. and paragraph 12.4.2.4 Modernization Programs Where both Old and New Section 6.0 Equipment are Left in Place

1. The applicant should identify and address negative effects on personnel performance due to control room or HSI clutter resulting from using old and new HSIs in parallel.

2. The applicant should identify and address negative effects on Section 6.0 personnel performance resulting from the simultaneous presence of parallel alarms.

3. The applicant should identify and address negative effects on Section 6.0 personnel performance resulting from differences in information from old and new systems on the same parameter or equipment.

4. The applicant should identify and address any safety Section 6.0 concerns from providing controls that operators can access from two different HSIs.

Additional Information-For exampl e, a switch may be installed to select which HSI will control the equipment, thus preventing simultaneous control inputs.

12.4.2.5 Modernization Programs Where New Non-functional Section 6.0 HSIs are in Place in Parallel with Old Functional HSIs

1. The applicant should evaluate the potential for negative effects on personnel performance due to control room or HSI clutter resulting from having old and new HSIs available in parallel. Where safety concerns are identified, the applicant should take measures to improve the HSIs.

2. The applicant should ensure that the non-functional state of Section 6.0 HSIs is clearly indicated.

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9.0 References

9.1 Source Documents

9.1.1. U.S. Nuclear Regulatory Commission, "Human Factors Engineering Program Review Model," NUREG-0711, Rev. 3, November 2012.

9.2 Referenced Documents

9.2.1. Human Factors Engineering Program Management Plan, TR-130414, Revision 0.

9.2.2. Human Factors Engineering Verification and Validation Implementation Plan, TR-130415, Revision 0.

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